Violation Tracker Parent Company Summary

Parent Company Name: 
Royal Bank of Canada
Ownership Structure: 
publicly traded (ticker symbol RY)
Headquartered in: 
Canada
Major Industry: 
financial services
Specific Industry: 
banking
Penalty total since 2000: 
$969,439,708
Number of records: 
25
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$969,264,70824
competition-related offenses$175,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$968,465,08821
banking violation$755,2502
price-fixing or anti-competitive practices$175,0001
financial institution supervision failures$44,3701
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

CITY NATIONAL; DAIN RAUSCHER; FERRIS BAKER WATTS; RBC CAPITAL MARKETS; RBC Dain Rauscher Incorporated; ROYAL BANK OF CANADA

Links: 

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
RBC Capital Markets Corporation investor protection violation 2008 MULTI-AG $859,800,000
Royal Bank of Canada investor protection violation 2014 CFTC $35,000,000
RBC Capital Markets LLC investor protection violation 2011 SEC $30,400,000
Dain Rauscher Incorporated investor protection violation 2000 SEC $12,941,191
RBC Capital Markets, LLC investor protection violation 2019 SEC $11,715,395
RBC Capital Markets Corporation investor protection violation 2008 MULTI-FIN (*) $9,800,000
RBC Capital Markets, LLC investor protection violation 2019 CFTC $5,000,000
RBC Capital Markets LLC investor protection violation 2020 SEC $3,889,007
RBC Capital Markets, LLC investor protection violation 2014 MULTI-FIN $2,800,000
RBC Capital Markets LLC investor protection violation 2016 SEC $2,500,000
RBC Dain Rauscher Inc investor protection violation 2006 SEC $1,500,000
Ferris, Baker Watts, Inc. investor protection violation 2009 SEC $800,656
City National Bank banking violation 2005 OCC $750,000
RBC Capital Markets, LLC investor protection violation 2015 SEC $500,000
RBC Dain Rauscher Incorporated investor protection violation 2002 SEC $500,000
RBC Capital Markets, LLC investor protection violation 2013 NJ-AG $450,000
RBC Capital Markets, LLC investor protection violation 2012 MA-SEC $250,000
RBC Capital Markets, LLC investor protection violation 2012 MT-SEC $186,439
Royal Bank of Canada price-fixing or anti-competitive practices 2013 WV-AG $175,000
RBC Capital Markets Corporation investor protection violation 2009 SEC $125,000
RBC Capital Markets Corp. investor protection violation 2010 NJ-AG $51,724
RBC Capital Markets, LLC financial institution supervision failures 2013 AK-DBS $44,370
RBC Capital Markets, LLC investor protection violation 2013 CA-DBO $33,520
Royal Bank of Canada investor protection violation 2009 DE-AG $22,156
City National Bank banking violation 2010 OCC $5,250
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